Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers

Broker-Dealer, Investment Advisers The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness.  OCIE has issued a Risk Alert to provide additional information concerning its initiative to assess cybersecurity preparedness in the securities industry. As part of this initiative, OCIE will conduct... Read more →

by   |   April 16, 2014

social media

SEC Investment Management Division Provides Social Media Guidance

Investment Advisers, Private Equity Investment Advisers Act Rule 206(4)-1(a)(1) states that: “[i]t shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business . . . for any... Read more →

by   |   March 31, 2014

SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody

Investment Advisers, Litigation, Private Equity Recent SEC charges against a registered investment adviser to a private fund and one of its co-founders illustrate recurring themes in SEC enforcement actions against private... Read more →

by   |   February 25, 2014

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Never-Before Examined Registered Investment Advisers Targeted by SEC

Investment Advisers, Private Equity The Securities and Exchange Commission has announced that its Office of Compliance Inspections and Examinations, or OCIE, is launching an initiative directed at investment... Read more →

by   |   February 20, 2014